• Herbert Hafen, Formerly of Morgan Stanley, Charged with Misappropriating Client Funds
  • Jeffrey Wiseman, Formerly of Morgan Stanley, Named in FINRA Arbitration Filed by Former NBA All-Star Chris Bosh
  • Elias Hafen, Formerly of Wells Fargo and Morgan Stanley, Sentenced to 30 Months in Prison for Fraud
  • Merrill Lynch Ordered to Pay Former MLB Outfielder $2 Million by FINRA
  • Richard George, Broker for Morgan Stanley, Accused of Making Unsuitable Investment Recommendations
  • James Willing, Formerly of Morgan Stanley, Suspended by FINRA for 35 Days